Help for
Insurance & Mortgage Brokers
The Challenges
- Coping with the future greater emphasis on the disclosure of risks and disadvantages.
- Building compliant, effective and independent complaints procedures which feedback valuable information to the business which is then acted on
- Handling the technicalities of the ICOBS and MCOB generally
- Building a positive relationship with the Financial Conduct Authority and dealing with the threat of disciplinary action
Solutions
- Reviewing, auditing and advising firms on changing their ways of doing business to make them compatible with the rules
- Build and audit new procedures
- Advice in a wide variety of forms on complaint handling, compliance and legal issues
- Instant e-mail or telephone advice, detailed opinions, face-to-face consultations and business reviews
- Dealing with the FCA over issues facing the firm and persuading the regulator not to take formal disciplinary action against the company.
- Insurance Brokers Read Consumer Complaints and Compensation Chapters 1-15 21,3, 7, 24-27
- Morgage Brokers Read Consumer Complaints and Compensation Chapters 1-15 20,222, 26-28, 26-28